Trade Surveillance Officer

Perform transaction monitoring and trade surveillance tasks to ensure alerts generated from systems are fully and properly investigated Analyze, maintain and improve setting and implement changes to the trade surveillance system and parameters calibration Carry out investigation and prepare report for internal review/STR filing Collaborate with IT team and...

Overview Develop and implement a comprehensive trade surveillance framework that ensures compliance with regulations across all markets and jurisdictions we trade. Conduct day-to-day monitoring of trading activities to identify potential compliance issues, market abuse, insider trading, or other irregularities. Investigate alerts and escalate issues to...

Key Responsibilities Develop and implement a comprehensive trade surveillance framework that ensures compliance with regulations across all markets and jurisdictions we trade. Conduct day-to-day monitoring of trading activities to identify potential compliance issues, market abuse, insider trading, or other irregularities Investigate alerts and elevate...

A leading financial services firm in Hong Kong is seeking a Surveillance Officer to perform transaction monitoring and ensure that all alerts from trade surveillance systems are duly investigated. Candidates should have an undergraduate degree in Law, Accountancy, or Finance, along with experience in compliance and trade surveillance. The ideal candidate...

A financial services company in Hong Kong seeks a Compliance Officer to monitor transactions and conduct trade surveillance. The role requires an undergraduate degree in Law, Accountancy, or Finance, plus 1-2 years of related experience or 3+ years in a brokerage environment. Key responsibilities include analyzing trade surveillance systems and preparing...

A global quantitative investment manager in Hong Kong seeks a Compliance Officer for Market Surveillance. The role involves monitoring trading activities to detect potential market abuse while collaborating with various teams to enhance oversight. Candidates should have extensive experience in trade surveillance, familiarity with trade surveillance tools,...

A leading global investment manager is seeking a key member for their Global Trade Surveillance team in Hong Kong. The role involves establishing a comprehensive trade surveillance control framework across all asset classes in the APAC region. The ideal candidate will have over 4 years of direct trade surveillance experience, preferably in APAC equities,...

Compliance Officer, Market Surveillance Qube Research & Technologies (QRT) is a global quantitative and systematic investment manager, operating in all liquid asset classes across the world. We are a technology and data driven group implementing a scientific approach to investing. Combining data, research, technology, and trading expertise has shaped QRT’s...

A financial services firm in Hong Kong is seeking a compliance specialist to develop a trade surveillance framework and monitor trading activities. The ideal candidate has a bachelor's degree in Finance or a related field, with 5–8 years of experience in trade surveillance or compliance within hedge funds. Strong knowledge of regulatory frameworks and the...

Your new company Our client is a leading international bank with a strong presence in Asia, committed to integrity, innovation, and client-centric solutions. We are currently seeking a detail-oriented and proactive Trade Surveillance Manager to join the Compliance Trade Surveillance team and help safeguard market integrity through vigilant monitoring and...